NECESSITY, FUNCTION, AND CONFORMITY: KRS
319.032(1)(c) requires the board to establish requirements for disciplining a
credential holder of this board, whether a licensed psychologist, certified
psychologist, certified psychologist with autonomous functioning, licensed
psychological practitioner, licensed psychological associate, an applicant or a
holder of a temporary license. This administrative regulation establishes a
code of conduct for a person practicing psychology.

Section 1. Definitions. (1)
"Client" means a person who meets the requirements established in
Section 2 of this administrative regulation.

(2) "Confidential information"
means information revealed by a client or clients or otherwise obtained by a
credential holder in a professional relationship

(3) "Court order" means the
written or oral communication of a member of the judiciary, or other court
magistrate or administrator, if the authority has been lawfully delegated to
the magistrate or administrator.

(4) "Credential holder" is
defined by KRS 319.010(3).

(5) "Professional relationship"
means a mutually agreed upon relationship between a credential holder and a
client for the purpose of the client obtaining the credential holder's professional
expertise.

(6) "Professional service"
means all actions of the credential holder in the context of a professional
relationship with a client.

(7) "Supervisee" means a person
who functions under the extended authority of the credential holder to provide
psychological services.

Section 2. Client Requirements. (1)
Identification of a client. A client shall be a person who receives:

(a) An evaluation, assessment, or
psychological testing;

(b) Other professional psychological
services for the treatment or amelioration of an emotional, mental, nervous,
addictive or behavioral disorder or distress, or a mental health condition; or

(c) Psychological consultation in the
context of a professional relationship.

(2) A corporate entity or other
organization shall be considered the client if the professional contract is to
provide a psychological service of benefit to the corporate entity or organization.

(3) A legal guardian of a minor or legally
incompetent adult shall be considered the client for a decision-making
purposes.

(4) A person identified as a client
pursuant to subsections (1)-(3) of this section shall be deemed to continue to
be a client for a period of two (2) years following the last date of service
rendered to the person.

Section 3. Competence. (1) Limits on
practice. The credential holder shall limit practice and supervision to the
areas of competence in which proficiency has been gained through education,
training, and experience.

(2) Maintaining competency. The
credential holder shall maintain current competency in the areas in which he or
she practices, through continuing education, consultation, or other procedures,
in conformance with current standards of scientific and professional knowledge.

(3) Adding new services and techniques.
The credential holder, if developing competency in a service or technique that
is new either to the credential holder or new to the profession, shall engage
in ongoing consultation with other psychologists or relevant professionals and
shall obtain appropriate education and training. The credential holder shall
inform a client of the innovative nature and the known risks associated with
the service, so that the client can exercise freedom of choice concerning the
service.

(4) Referral. The credential holder shall
make or recommend referral to other professional, technical, or administrative
resources if a referral is clearly in the best interests of the client.

(5) Sufficient professional information.
A credential holder rendering a formal professional opinion in a report,
letter, or testimony about a person shall not do so without direct and
substantial professional contact with or a formal assessment of that person.

(6) Maintenance and retention of records.

(a) The credential holder rendering
professional services to an individual client, or services billed to a
third-party payor, shall maintain professional records that include:

1. The presenting problem, purpose or
diagnosis;

2. The fee arrangement;

3. The date and substance of each
professional contact or service;

4. Test results or other evaluative
results obtained and the basic test data from which the results were derived;

5. Notation and results of a formal
consult with another provider; and

6. A copy of all test or other evaluative
reports prepared as part of the professional relationship.

(b) The credential holder shall ensure
that all records are maintained for a period of not less than six (6) years
after the last date that services were rendered.

(c) The credential holder shall store and
dispose of written, electronic and other records in a manner which shall ensure
their confidentiality.

(d) For each person supervised pursuant
to KRS Chapter 319, the credential holder shall maintain for a period of not
less than six (6) years after the last date of supervision a record of each
supervisory session that shall include the type, place, date, and general
content of the session.

(7) Continuity of care. The credential
holder shall make arrangements for another appropriate professional or
professionals to provide for an emergency need of a client, as appropriate,
during a period of his or her foreseeable absence from professional
availability.

(a) The credential holder shall not
undertake or continue a professional relationship with a client if the
objectivity or competency of the credential holder is impaired due to a mental,
emotional, physiologic, pharmacologic, or substance abuse condition.

(b) If an impairment develops after a
professional relationship has been initiated, the credential holder shall:

1. Terminate the relationship in an
appropriate manner;

2. Notify the client in writing of the
termination; and

3. Assist the client in obtaining
services from another professional.

(2) Prohibited dual relationships.

(a) The credential holder shall not
undertake or continue a professional relationship with a client if the
objectivity or competency of the credential holder is impaired because of the
credential holder's present or previous familial, social, sexual, emotional,
financial, supervisory, administrative, or legal relationship with the client
or a relevant person associated with or related to the client.

(b) The credential holder, in interacting
with a client, shall not:

1. Engage in verbal or physical behavior
toward the client which is sexually seductive, demeaning, or harassing;

2. Engage in sexual intercourse or other
physical intimacy with the client; or

3. Enter into a potentially exploitative
relationship with the client.

(c) The prohibitions established in
paragraph (b) of this subsection shall extend indefinitely if the client is
clearly vulnerable, by reason of emotional or cognitive disorder, to
exploitative influence by the credential holder.

Section 5. Client Welfare. (1) Providing
explanation of procedures. The credential holder shall give a truthful,
understandable, and appropriate account of the client's condition to the client
or to those responsible for the care of the client. The credential holder shall
keep the client fully informed as to the purpose and nature of an evaluation,
treatment, or other procedure, and of the client's right to freedom of choice
regarding services provided.

(2) Termination of services.

(a) If professional services are
terminated, the credential holder shall offer to assist the client in obtaining
services from another professional.

(b) The credential holder shall:

1. Terminate a professional relationship
if the client is not benefiting from the services; and

2. Prepare the client appropriately for
the termination.

(3) Stereotyping. The credential holder
shall not impose on the client a stereotype of behavior, values, or roles related
to age, gender, religion, race, disability, nationality, sexual preference, or
diagnosis which would interfere with the objective provision of psychological
services to the client.

(4) Solicitation of business by clients.
The credential holder providing services to an individual client shall not
induce that client to solicit business on behalf of the credential holder.

(5) Referrals on request. The credential
holder providing services to a client shall make an appropriate referral of the
client to another professional if requested to do so by the client.

Section 6. Welfare of Supervisees and
Research Subjects. (1) Welfare of supervisees. The credential holder shall not
exploit a supervisee.

(2) Welfare of research subjects. The
credential holder shall respect the dignity and protect the welfare of his or
her research subjects, and shall comply with all relevant statutes and
administrative regulations concerning treatment of research subjects.

Section 7. Protecting the Confidentiality
of Clients. (1) General. The credential holder shall safeguard the confidential
information obtained in the course of practice, teaching, research, or other
professional services. Except as provided in this section, the credential
holder shall obtain the informed written consent of the client prior to
disclosing confidential information.

(2) Disclosure without informed written
consent. The credential holder shall disclose confidential information without
the informed consent of the client if the credential holder has a duty to warn
an intended victim of the client's threat of violence pursuant to KRS 202A.400
or 645.270.

(3) Disclosure if the client is a
corporation or other organization. If the client is a corporation or other
organization, the requirements for confidentiality established in this section
shall:

(a) Apply to information that pertains
to:

1. The corporation or organization; or

2. An individual, including personal
information, if the information is obtained in the proper course of the
contract; and

(b) Not apply to personal information
concerning an individual if the individual had a reasonable expectation that
the information was:

1. Obtained in a separate professional
relationship between the credential holder and the individual; and

2. Subject to the confidentiality
requirements established in this section.

(4) Services involving more than one (1)
interested party. If more than one (1) party has an appropriate interest in the
professional services rendered by the credential holder to a client or clients,
the credential holder shall clarify to all parties prior to rendering the services
the dimensions of confidentiality and professional responsibility that shall
pertain in the rendering of services.

(5) Multiple clients. If service is
rendered to more than one (1) client during a joint session, the credential
holder shall at the beginning of the professional relationship clarify to all
parties the manner in which confidentiality shall be handled.

(6) Legally dependent clients. At the
beginning of a professional relationship the credential holder shall inform a
client who is below the age of majority or who has a legal guardian, of the
limit the law imposes on the right of confidentiality with respect to his or
her communications with the credential holder.

(7) Limited access to client records. The
credential holder shall limit access to client records to preserve their
confidentiality and shall ensure that all persons working under the credential
holder's authority comply with the requirements for confidentiality of client
material.

(8) Release of confidential information.
The credential holder shall release confidential information upon court order
or to conform with state law, including KRS 422.317, or federal law or
regulation.

(9) Reporting of abuse of children and
vulnerable adults. The credential holder shall be familiar with the relevant
law concerning the reporting of abuse of children and vulnerable adults, and
shall comply with those laws, including KRS 620.030.

(10) Discussion of client information
among professionals. If rendering professional services as part of a team or if
interacting with other appropriate professionals concerning the welfare of the
client, the credential holder may share confidential information about the
client if the credential holder takes reasonable steps to ensure that all
persons receiving the information are informed about the confidential nature of
the information and abide by the rules of confidentiality.

(11) Disguising confidential information.
If case reports or other confidential information is used as the basis of
teaching, research, or other published reports, the credential holder shall
exercise reasonable care to ensure that the reported material is appropriately
disguised to prevent client identification.

(12) Observation and electronic
recording. The credential holder shall ensure that diagnostic interviews or
therapeutic sessions with a client are observed or electronically recorded only
with the informed written consent of the client.

(13) Confidentiality after termination of
professional relationship. The credential holder shall continue to treat as
confidential information regarding a client after the professional relationship
between the credential holder and the client has ceased.

Section 8. Representation of Services.
(1) Display of credentials. The credential holder shall display his or her
current credential to practice psychology on the premises of his or her
professional office.

(2) Misrepresentation of qualifications.
The credential holder shall not misrepresent directly or by implication his or
her professional qualifications such as education, experience, or areas of competence.

(3) Misrepresentation of affiliations.
The credential holder shall not misrepresent directly or by implication his or
her affiliations, or the purposes or characteristics of institutions and
organizations with which the credential holder is associated.

(4) False or misleading information. The
credential holder shall not include false or misleading information in a public
statement concerning professional services offered.

(5) Misrepresentation of services or
products. The credential holder shall not associate with or permit his or her
name to be used in connection with a service or product in a way which misrepresents:

(a) The service or product;

(b) The degree of his or her
responsibility for the service or product; or

(c) The nature of his or her association
with the service or product.

(6) Correction of misrepresentation by
others. The credential holder shall correct others who misrepresent the
credential holder's professional qualifications or affiliations.

Section 9. Disclosure of Cost of
Services. The credential holder shall not mislead or withhold from a client,
prospective client, or third party payor, information about the cost of his or
her professional services.

(2) Protection of integrity of assessment
procedures. The credential holder shall not disseminate a psychological test in
a way that may invalidate it.

(3) Information for professional users.
The credential holder offering an assessment procedure or automated
interpretation service to another professional shall accompany this offering by
a manual or other printed material which describes the development of the assessment
procedure or service, the rationale, evidence of validity and reliability, and
characteristics of the normative population. The credential holder shall state
the purpose and application for which the procedure is recommended and identify
special qualifications required to administer and interpret it properly. The
credential holder shall ensure that advertisements for the assessment procedure
or interpretive service are factual.